Know Your Customer Resume Samples

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K Simonis

Karianne

Simonis

291 Feeney Run

Philadelphia

+1 (555) 542 3100

291 Feeney Run

Philadelphia

Phone

p +1 (555) 542 3100

Experience Experience

Houston, TX

Know Your Customer

Houston, TX

Huels-O'Keefe

Houston, TX

Know Your Customer

Support CDMC colleagues & Client On-boarding colleagues globally in performing all aspects of work associated with the cyclical review process
Supervise individual KYCS review metrics and report to senior management
Keep in tune with the changing regulatory environment; be familiar with new regulations that affect Client Management and Control and the Bank
Maintain minimal errors and incidents
Ensure Reference Data Services best practices are being followed
Ensure Reference Data Services best practices are being followed and
Resolution to adhoc queries from various groups including, Client Onboarding, Sales and Front Office personnel as well as various Operations teams

Boston, MA

Associate Know Your Customer CAO Operations

Boston, MA

Strosin LLC

Boston, MA

Associate Know Your Customer CAO Operations

Perform day to day management of a team of KYC Operations Analysts and Reviewers, including coaching and providing ongoing performance feedback
Foster and champion High Performance Culture where people are empowered to make decisions that affect their work/environment
Selection, performance management, and overall development of employees within their assigned team
Proactively highlight potential issues to management
Drive Process improvements and implement process changes as necessary
Make decisions that are effective and well-grounded based on guidelines, policies, and insights
Be flexible to multi task and effectively manage priorities across the wider function

present

Chicago, IL

Know Your Customer Senior Specialist

Chicago, IL

Langworth-Hoeger

present

Chicago, IL

Know Your Customer Senior Specialist

present

Balance the pursuit of growth and financial performance with disciplined risk management practices
Monitor New Customer requests and Reassessments for ways to assist coworkers in both CCOG and DAD in general
Document the review of alerts by recording results in the Dept.'s alert management system
Utilize broad compliance knowledge to formulate decisions and make recommendations
Maintain a high level of service to Business Units supported in both New Customer Onboarding and Reassessments well within SLA’s, as well as maintain a high level of data quality in all tasks
Working hours are 12:00pm – 8:00 pm Eastern time
Present complex issues in simple and straightforward manner to internal clients

Education Education

Bachelor’s Degree in Computer Science

University of Florida

Bachelor’s Degree in Computer Science

Skills Skills

A profound knowledge in Know your Customer (KYC) matters and topics, with a relevant experience in KYC roles, including KYC QA experience
A subject matter expert in Know your Customer (KYC) and the ability to transfer knowledge to colleagues
The ability to utilise your own area of expertise and knowledge to contribute to significant improvements in operational processes and policies
Able to travel to designated EMEA locations for additional QA assignments
Excellent verbal and written skills in English (additional European languages particularly French and/or Spanish would be beneficial)
The ability to influence specific key Stakeholders, providing support and coaching them in their role in the Change effort
A high level of proficiency in interpersonal communication skills
The ability to implement recommendations to enhance risk management systems and procedures
Able to communicate with integrity to fellow team members
Able to foster the environment to pursue opportunities for change

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Know Your Customer Analyst Resume Examples & Samples

Ensure timely and accurate completion of the assigned KYC alerts and cases
Performs reviews of KYC information provided by the LOB
Ensure the supporting documentation is properly stored
Work with the U.S. AML Office High Risk Unit to assess and update high- risk ratings as needed
Promptly responds to the requests submitted by the U.S. AML Office High Risk Unit
Advise LOB regarding AML information and documentation requirements and ensure that sufficient KYC was collected
Recognize and escalate high-risk triggers to the appropriate area for review and decision
Inform LOB when a customer is prohibited based on information provided or gathered from other sources
Manage several requests simultaneously, prioritizing as needed in order to meet promised deadlines and client demand
Monitor escalated issues in process of remediation according to established procedures. Ensure all BSA/AML related actions taken to address issues are documented, retained and retrievable
Maintain up-to-date level of subject matter expertise in BSA/AML requirements, banking regulations and directives of the US-AML Office
Maintain up-to-date level of institutional knowledge of U.S. P&C product offerings, operations and markets to facilitate LOB compliance with enterprise AML reporting requirements
Bachelor’s degree preferably in focal areas of finance, economics or an accounting related field, or relevant experience
Relevant experience in professional risk management, compliance, accounting or auditing in banking or financial services
AML and risk control subject matter expertise in the context of broader disciplines such as Criminal Justice, Homeland Security, Intelligence Operations and practical application
Knowledge of corporate banking regulations and law
Knowledge of AML gaps
Maintaining or pursuing an AML-related certification (e.g. CAMS)
Ability to appropriately identify and escalate issues to reporting manager
Ability to work with high-level security access in a professional and ethical manner
Ability to work a demanding schedule under limited supervision
Attention to detail and ability to learn and adapt quickly
Decisiveness
Project management Skills
Service Delivery
Business Acumen, financial literacy and understanding of business trends
Business writing skill

Head of Know Your Customer Operations Resume Examples & Samples

8+ years of relevant experience
Expertise in the KYC process and Local Policies
Strong knowledge of applicable regulations including OFAC, USA Patriot Act, FINRA
Solid time management and problem solving skills
Highly organized

O&t-know Your Customer Development Lead Resume Examples & Samples

Requires a bachelor’s degree in Computer Science or related field and 5 to 8 years of progressive experience as a Software Developer, Programmer Analyst, Development Lead or related occupation
Must have experience with software development for AML/KYC functions for global application development with extensive experience in business, functional and people management
Experience in Anti-Money Laundering and consulting would be preferred
Outstanding program management and planning skills
Outstanding organizational skills and attention to details
Outstanding relationship building capabilities
Anti-Money Laundering and ‘Know your customer’ experience is a plus
Past successes in contributing to business transformation projects
Strong analytical and creative suctioning abilities
Strong communications and presentation skills
Strong organization skills with high attention to details
Ability to handle multiple conflicting priorities and switch gears
Soft skills include excellent oral and written communications; proven ability to influence and set expectations
Ability to communicate effectively with internal, as well as external groups at varying levels of business and technical knowledge
Leadership abilities to drive the projects and deliver with quality

Know Your Customer Resume Examples & Samples

Supervise individual KYCS review metrics and report to senior management
Demonstrate group and individual productivity
Ensure client reviews are in compliance with CID/AML procedural standards
Create, amend, suspend, unsuspended, de-activate client accounts at party and subaccount level in CMS in order to support governance as a result of a KYCS review
Ensure Reference Data Services best practices are being followed and
Maintain minimal errors and incidents
Resolution to adhoc queries from various groups including, Client Onboarding, Sales and Front Office personnel as well as various Operations teams

Senior Analyst, Know Your Customer Resume Examples & Samples

Provide recommendations for KYC decisions based on the analysis undertaken
Overview analysis of customer KYC data in line with AML compliance obligations
Manage and plan daily workload efficiently, accurately, within Service Levels, service standards, performance targets and in compliance with all aspects of policy, procedure and statutory requirements relevant to the position
Manage issues and escalate to appropriate level to ensure appropriate course of action is taken where appropriate
Influence and gain buy-in from enterprise leaders, senior management and external partners on service change plans in order to execute KYC recommendations optimally
Develop, agree and embed agreed KYC methods and tools
Formulate and implement KYC operational strategy
Develop and influence stakeholder alignment to agreed KYC standards related to anti money laundering and terrorism finance
Contribute and support Know Your Customer (KYC) remediation plans in the region
Ensure the do ability of KYC obligations given capability, cost and time constraints and recommend appropriate mitigation actions where portfolio risks arise
Analyse, investigate and establish customer KYC strategies

Know Your Customer Policy Specialist Resume Examples & Samples

Analysing ongoing changes to KYC Policies and defining the corresponding key operating procedures, in conjunction with the global Anti-Financial Crime group
Developing and maintaining KYC key operating procedures, based on the ongoing pipeline of change requests arising from the COB organisation
Presenting proposals for changes to the operating standards, in the cross functional working group tasked with validating standards
Providing second-level support to policy regional Leads, on subject matter related queries
Performing quality assurance on the KYC standards and guidance developed in the regional hubs

Icg-consumer Business Know Your Customer Business Service Unit-cadd Resume Examples & Samples

Graduates with 2-4 years of work experience with basic understanding of relevant banking practices, corporate policies and compliance requirements
Good command of reading and writing English
Good PC skills with ability to pick up new software systems
Co-operative, proactive with high sense of responsibility and teamwork
Ability to work under pressure and in a volatile environment
Attention to details with high accuracy in work; Strive for process improvement
Display the ability to prioritize effectively in order to meet routine processing deadlines
Flexible enough to work as per Business timings
Proven ability to work independently and be self-starter
Exceptional organization and process management ability
Intermediate technical skills including intermediate working knowledge of Microsoft Office (Excel, Word, PowerPoint, etc.) a plus
Demonstrated ability to prioritize, multi-task and work within tight and changeable timeframe while still maintaining high level of accuracy
Strong analytical skills and time management skills, excellent attention to details
Excellent written and verbal communication skills and aptitude in communicating with senior management
Ability to work with internal stakeholders (e.g. Coverage, Quality Assurance, Compliance) and partners (e.g. Training, Communications, Senior Management) to develop and execute on process enhancements and simplifications
University degree preferably in Business/Finance, Math, Economics, Engineering, Optimization, or Law

Client Onboarding, Know Your Customer Resume Examples & Samples

Forming part of the global COB KYC QA testing team with functional reporting into the Global Head of KYC QA
Managing a team of three experienced KYC QA reviewers
Ensuring that risks and issues are secured, recorded and escalated as appropriate
Ensuring that testing activities are being conducted in accordance with the strategy and plan
Developing and institutionalising COB KYC QA capability, sharing and cross training with the global team and wider COB user community
Embedding and executing QA methodology and disciplines
Ensuring adherence to testing best practices and Deutsche Bank testing standards
Operating as a QA specialist for the evolving QA methodology, disciplines and framework, implementing required changes in partnership with the global team
Contributing to the appropriate QA production and change governance structure(s) between QA function, COB leadership, operational control and technology partners, executing against the QA mandate
Maintaining timely, accurate and effective reporting
Supporting and contributing towards a continuous improvement program of work borne out of QA testing results, assessing root causes and thematic issues, proposing steps for resolution and evidencing improvements
Identifying audit and regulatory topics and contributing to effective solutions
Ensuring a culture of teamwork and the collective achievement of departmental goals and objectives across teams
Supporting the identification and maintenance of quality standards
A profound knowledge in Know your Customer (KYC) matters and topics, with a relevant experience in KYC roles, including KYC QA experience
A customer and service orientation to support interaction with team resources and clients
Proven experience with Risk Management and Control policies and procedures
Experience of planning and executing testing across projects
Excellent verbal and written skills in English (additional European languages particularly French and/or Spanish would be beneficial)
The ability to influence specific key Stakeholders, providing support and coaching them in their role in the Change effort
A high level of proficiency in interpersonal communication skills
The ability to implement recommendations to enhance risk management systems and procedures
A deep understanding of business area needs
An understanding of and the ability to, apply appropriate legal and regulatory requirements and identify required changes
The ability to utilise your own area of expertise and knowledge to contribute to significant improvements in operational processes and policies
A subject matter expert in Know your Customer (KYC) and the ability to transfer knowledge to colleagues
Pro-active and able to articulate complex issues to all levels of Management
Open minded and performance oriented
Able to sell ideas and concepts to gain contribution from Stakeholders
Motivated and flexible, able to work under pressure
Able to foster the environment to pursue opportunities for change
Able to communicate with integrity to fellow team members
Able to travel to designated EMEA locations for additional QA assignments

Know Your Customer Intake Analyst Resume Examples & Samples

Associates or Bachelors degree
Working knowledge and understanding of OFAC, BSA/AML, and USA PATRIOT Act and risk management principles
Sound oral and written communication skills
Sound analytical, problem solving and organizational skills
Working knowledge of client database and transactional monitoring processes
Working knowledge of Bank operating environment and applicable systems, including Microsoft Office Suite

Know Your Customer Analyst M / F-vie Resume Examples & Samples

Carry out due diligence checks and information searches, and undertake additional reputation checks and diligences when necessary
Analyze the file and give recommendations and conclusions with regards to the client and its activities
Take responsibility for the proper management of KYC files and client records in the information systems

Anti-money Laundering Know Your Customer Intake Manager Resume Examples & Samples

Provide direction and oversight over a Financial Intelligence functional unit by managing a staff of Leads, Investigators, Analysts and/or Coordinators
Align operational procedures and processes with AML Program objectives to mitigate the enterprise’s exposure to money laundering risk. Provide input on the design and implementation of policies, procedures and processes utilized within Financial Intelligence
Oversee and direct the monitoring, identification, research, analysis, investigation and follow-up of suspicious activity. Ensure that activities are reviewed in a holistic manner across the spectrum of products and services used by the customer
Collaborate across Financial Intelligence functions, the AML Office and Legal Entities and Lines of Business (LE/LOBs) to identify opportunities to improve compliance and resolve escalated issues. Plan and implement changes to enhance effectiveness
Ensure appropriate and timey follow-up of identified issues
Ensure adherence to documentation requirements. Perform periodic reviews of operations and initiatives to ensure observance of enterprise and regulatory policies
Report concerns and status of AML compliance to senior management. Recommend follow-up actions and ways to improve to the Financial Intelligence Manager and Chief US AML Officer
U.S. AML Management Team and staff
BMO Financial Group U.S. LE/LOBs – P&C, U.S., PCG and Capital Markets
Corporate Compliance and Audit
Technology & Operations
Bank Examiners/Auditors
5+ years of prior BSA/OFAC and Compliance experience, with 2-3 years in a leadership role preferred
Maintaining or pursuing an AML-related certification (e.g., CAMS)
Expert knowledge of AML and OFAC regulatory requirements

Know Your Customer Senior Specialist Resume Examples & Samples

Monitor, research, and analyze Compliance checks as needed in relation to completing KYC reassessments. all compliance activities i.e. OFAC hits, negative news alerts, Anti-Social Elements
Submit KYC files including required documentation for new and existing customers
Refer all transactions/customers deemed suspicious to the BSA Investigations Unit in a timely manner and in accordance with Bank policy
Utilize Japanese communication skills to proactively interact with the Front Office (Relationship Managers, Marketing Officers, Portfolio Managers, etc.)
Maintain detailed tracking of customer files to ensure that KYC has been completed by specified deadlines
Present complex issues in simple and straightforward manner to internal clients
Perform special projects as required and any other duties as assigned
At least 2 years’ experience as Front Office support personnel in a financial institution with products (i.e. derivatives, securitization, syndication) and operations (Front or Middle Office) knowledge
Solid knowledge of KYC/AML and data governance policy
Rigorous and motivated by regulatory aspects
Excellent written and verbal communication and presentation skills in English and Japanese
Strong time management, prioritization, work organization and multi-tasking skills
Effective Internet and research skills
Proficiency in MS Office - Word, Excel, Powerpoint, Access and end user tools

Know Your Customer Senior Specialist Resume Examples & Samples

Monitor, research, analyze and address all essential compliance activities i.e. OFAC hits, news alerts
Submit KYC files including required documentation
Document the review of alerts by recording results in the Dept.'s alert management system
Utilize broad compliance knowledge to formulate decisions and make recommendations
Maintain a high level of service to Business Units supported in both New Customer Onboarding and Reassessments well within SLA’s, as well as maintain a high level of data quality in all tasks
3-4 years of related experience
Working hours are 12:00pm – 8:00 pm Eastern time
Monitor New Customer requests and Reassessments for ways to assist coworkers in both CCOG and DAD in general
Learn and master the CDL and KYC/R processes
Balance the pursuit of growth and financial performance with disciplined risk management practices

Senior Team Member Know Your Customer CAO Operations Resume Examples & Samples

Collection and verification of confidential client data via publically available and internal sources
Understand the firm’s KYC requirements when completing documentation inclusive of Customer Identification Program (CIP), Minimum Due Diligence (MDD), Enhanced Due Diligence (EDD), Local Due Diligence (LDD), and the Product Due Diligence Questionnaire (PDD)
Compare and contrast differences within KYC records , highlight and escalate any discrepancies
Meet firm wide quality standards
Exhibit the highest standards of customer service to our internal and external customers (inclusive of confidentiality)
Communicating/escalating issues to management when applicable
Handling and maintenance of confidential client documentation
Be part of the holistic client review team to follow up on outstanding alignment items within various LOBs and/or GFCC to close loop on the alignment
Bachelor’s Degree and/or Graduate Degree
1-6 years experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Compliance, Corporate KYC , AML and Screening
Strong research, analytical, and comprehension skills with the ability to analyze large amounts of data
Demonstrate cross-line of business knowledge of banking systems and products
Possess strong computer skills: Lotus Notes and Microsoft Office Suite including Excel, Word and PowerPoint
Flexibility of operating hours to include overtime, holidays, and weekend testing
A strong sense of ownership and responsibility
Comfortable with change, ambiguity, debate, conflict and informed risk taking
Develop an environment of continuous focus on quantifiable productivity and quality
Strong interpersonal and verbal/written communication skills

Know Your Customer Anti Money Laundering Apprenticeship Resume Examples & Samples

Bac + 4/5 en KYC /AML - A legal background is a plus
Knowledge of financial products / commodities markets / IT System
Analytical and synthetically capacities
Good writing skills
Able to multi-task and to meet tight deadlines
Proactive, with a high level of autonomy
Team spirit collaboration
You are fluent in written and spoken French and English

Analyst Know Your Customer CAO Operations Resume Examples & Samples

Review of client data/processes to meet firm wide quality standards
Ability to learn and communicate a new process to a team
Proactively identifies opportunities to refine a process and increase operational efficiencies
Be flexible to work on other migration/remediation projects including Screening resolution , other LOB holistic alignment or Quality Assurance
Team handling experience would be desirable
Knowledge of KYC is essential with at least 5-10 years’ experience (Audit, Control, Risk, AML, and Research may also be areas of experience)
Must be able to work and contribute effectively in stressful situation
Strong research, analytical and comprehension skills, with ability to analyze large amounts of data
Client focused with strong customer service skills (e.g. oral and written communication skills)
Ability to multi-task and meet deadlines against a high volume work schedule
Experience adhering to controls and compliance standards
Able to grasp/learn concepts and procedures quickly
Possess strong computer skills: Microsoft Office Suite including Excel, Word and PowerPoint
Must be detailed oriented and analytical
Ability to work both independently and as a team in a fast paced production environment
Drives results through leadership, people, communication and influence

Analyst Know Your Customer CAO Operations Resume Examples & Samples

Outstanding client management, partnership building, leadership and direct experience of dealing with multiple stakeholders at one time
Excellent interpersonal skills necessary to work effectively with colleagues and senior management
Candidate must have strong written/verbal communication, leadership, solid high volume processing and analytical skills with the ability to work independently on multiple assignments in a deadline driven, regulatory environment

Associate Know Your Customer CAO Operations Resume Examples & Samples

Understanding and implementation of KYC standards, guidelines, policies and procedures
Selection, performance management, and overall development of employees within their assigned team
Perform day to day management of a team of KYC Operations Analysts and Reviewers, including coaching and providing ongoing performance feedback
Conducts analysis of daily/monthly metrics to track performance of individual team members over time to evaluate performance, learning, and capability
Effectively address any issues that might be escalated by either internal or external customers
Identify special training needs that may benefit team members to increase team efficiency and quality
Proactively highlight potential issues to management
Drive Process improvements and implement process changes as necessary
Identify root causes, understand connections and implications and evaluate alternatives
Make decisions that are effective and well-grounded based on guidelines, policies, and insights
Create an effective and efficient team through continuous communication, timely feedback, and appropriate supervisory practices
Be flexible to multi task and effectively manage priorities across the wider function
10-15 years experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Compliance and KYC
Proven track record of ongoing coaching, educating and directing a team
Experience with leading a new team with limited Subject Matter Expertise
Strong relationship building skills to influence/negotiate desired outcomes
Ability to deep-dive and investigate issues to see a successful resolution
Experience with the build out and execution of a new team or procedures
Ability to identify risks and issues and successfully navigate through to completion
Self-reliance and willingness to "own" problems and creatively find solutions
Foster and champion High Performance Culture where people are empowered to make decisions that affect their work/environment
Develop and lead a team that is responsive to dynamic organizational and operational changes

Know Your Customer Manager Resume Examples & Samples

Manage the KYC/I pipeline to help ensure records are completed within the policy-defined timelines
Responsible for reviewing and ensuring required AML / KYC Regulatory requirements for new clients are met
Partner with Compliance to help ensure the team stays aligned to regulatory-driven change Act as a consultant to Sales, providing necessary guidance to ensure client requests and documentation are delivered without detriment to the client experience
Monitor the “health” of the team, evidencing progress and challenges through MI and KPIs aligned to the global reporting suite
Perform Client account periodic reviews and remediation efforts as required
Perform and lead special projects related to the organization’s AML efforts
Understanding of the Asset Management investment value chain and client types
Deep subject matter expertise of the KYC policies and technical requirements (e.g. within the Asset Management Industry)
Multi-year experience as a team manager
Strong work ethic, commitment to excel and proven capacity to work effectively with minimum supervision and under tight deadlines in a fast-paced environment while producing quality work
Strong communication, writing, analytical and organization skills
Experience in compliance or other client service exposure desired
Project management skills and ability to manage multiple responsibilities and work streams preferred
Retail mutual fund or hedge fund experience a plus
High level of comfort in dealing with all levels of management
Familiarity with client relationship management platform (Salesforce.com) a plus
Proficiency with Microsoft Office programs including Word, Excel and PowerPoint

AML Know Your Customer Team Lead Resume Examples & Samples

Subject matter expertise in AML, EDD and KYC regulatory requirements
Demonstrated success articulating and delivering findings on AML high risk behaviors and KYC data
High level analytical research and investigative skill set including experience with background checks / intelligence / customer research / transactional analysis
Assists leadership with escalating potential compliance driven risks
Assists leadership with additional duties such as special projects, time driven deliverables, and customer escalations
12+ years’ experience in financial services or related industry
Minimum 1 year of Operational Leadership Experience including delivering in a high-volume, goal-based production / operations-based environment
Knowledge of Citibank branch processes and procedures
CAMS / CFE certification preferred
Prior experience in a production operations environment

AML Know Your Customer Analyst Resume Examples & Samples

High level analytical research and investigative skill set including experience with background checks/intelligence/customer research/transactional analysis
High level of analytical skills and complex problem-solving
Strong PC skills (Microsoft Office with emphasis on Excel)
Excellent written and oral communication skills with the ability to summarize findings and present in a clear concise manner to peers, direct and senior level management
Ability to contribute, support and lead efforts to achieve department/business unit goals, up to and including recommendations to changes in policy and procedures resulting from review findings, participate in leadership level meetings, and quality assurance review of analyst case work
Assists management with escalating potential compliance driven risks
Assists management with additional duties such as special projects, time driven deliverables, and customer escalations
9+ years’ experience in financial services or related industry
Bachelor’s Degree or equivalent experience
Strong knowledge of Citibank customer and transaction systems (i.e., Concierge, Citismart, CRU, On Demand, etc.)
CAMS/CFE certification preferred